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Credit Suisse Securities LLC v. Billing
Securities law implicitly precludes application of antitrust laws to underwriters' alleged conduct in case brought by investors for 'laddering' and 'tying' agreements. 		Securities Jun. 22, 2007
Johnson v. Aljian
Plaintiff need not plead actionable predicate violation to maintain claim under Section 20A of Exchange Act. 		Securities Jun. 22, 2007
Tellabs Inc. v. Makor Issues & Rights Ltd.
'Strong' inference of scienter under Section 21D(b)(2) must be cogent and at least as compelling as any opposing inference of nonfraudulent intent. 		Securities Jun. 22, 2007
Saberi v. Commodity Futures Trading Commission
Petition to review case of trader who intentionally violated Chicago Mercantile Exchange rule in trading frozen pork bellies, is denied. 		Securities Jun. 8, 2007
Saberi v. Commodity Futures Trading Commission
Petition to review case of trader who intentionally violated Chicago Mercantile Exchange rule in trading frozen pork bellies, is denied. 		Securities Jun. 8, 2007
Betz v. Trainer Wortham & Co. Inc.
Naive investor does not have inquiry notice where reasonable investor should not have discovered alleged fraud and they receive constant assurances. 		Securities May 11, 2007
Reiswig v. Dept. of Corporations for the State of California
Where company promoted certificates of deposit plus bonus, investment offered is not deemed security. 		Securities Mar. 20, 2007
U.S. v. Zolp
Court improperly finds stock to be worthless after revelation of securities fraud where shares sold and price increased. 		Securities Mar. 16, 2007
Capital Research and Management Co. v. Brown
Savings clause of National Securities Markets Improvement Act permits state attorney general's enforcement action against security's investment advisor and wholesale broker-dealer. 		Securities Feb. 16, 2007
People v. Frederick
Chain scheme offering co-ownership in corporation constitutes securities fraud, however filing false corporate tax return is not 'taking' for purposes of sentencing. 		Securities Nov. 2, 2006
Dreiling v. American Express Co.
Dismissal of case concerning short-swing profits was improper where there were questions of fact concerning whether insider was exempt from liability. 		Securities Oct. 19, 2006
U.S. v. Bhagat
No constructive amendment or material variance of indictment is found where facts presented were introduced for impeachment purposes. 		Securities Oct. 18, 2006
SEC v. Capital Consultants
Where parties failed to obtain direction for entry of judgment pursuant to FRCP Section 54(b), court lacked jurisdiction over their appeal. 		Securities Oct. 17, 2006
Deveny v. Entropin Inc.
Triable issues of material fact exist about whether class alleging securities violations against pharmaceutical company had constructive notice of facts underlying complaint. 		Securities Sep. 6, 2006
Simpson v. AOL Time Warner Inc.
In securities case, complaint was properly dismissed where it failed to allege that false appearance was created to further scheme to defraud. 		Securities Sep. 6, 2006
Powers v. Wells Fargo Bank NA
Statute 18 U.S.C. Section 1964(c) bars RICO claims alleging security fraud in individual and class actions except where defendant has been criminally convicted. 		Securities Jun. 26, 2006
SEC v. JT Wallenbrock & Associates
In Ponzi scheme case, disgorgement order was proper where millions of dollars received by defendants was ill-gotten gain that unjustly enriched. 		Securities Jun. 20, 2006
Kircher v. Putnam Funds Trust
Remand orders pursuant to securities litigation law are not exempted from general rule of nonappealability. 		Securities Jun. 16, 2006
Merrill Lynch, Pierce, Fenner & Smith Inc. v. Dabit
Class action filed by holders of securities based upon state law grounds is pre-empted by Securities Litigation Uniform Standards Act. 		Securities Mar. 28, 2006
U.S. v. Tarallo
Telemarketer's conviction for securities fraud based on vicarious liability theory is not supported by sufficient evidence. 		Securities Oct. 5, 2005
Livid Holdings Ltd. v. Barney Inc.
Trial court may not apply 'bespeaks caution' doctrine to statements of historical fact. 		Securities Oct. 5, 2005
Sparling v. Daou
Allegation that company officers recognized revenues before labor had begun on contract projects suffices to show material misrepresentation. 		Securities Aug. 24, 2005
Sparling v. Daou
Allegation that company officers recognized revenues before labor had begun on contract projects suffices to show material misrepresentation. 		Securities Aug. 23, 2005
SEC v. Capital Consultants
District court properly approved receiver's plan of distribution proposing 50 percent offset. 		Securities Aug. 23, 2005
Securities and Exchange Commission v. Gemstar-TV Guide International Inc.
Termination package of $37 million to corporate officers was 'extraordinary payment' that was properly held in escrow. 		Securities Jul. 26, 2005
U.S. v. Tarallo
Telemarketer's conviction for securities fraud based on vicarious liability theory is not supported by sufficient evidence. 		Securities Jun. 30, 2005
Livid Holdings Ltd. v. Salomon Smith Barney
Trial court may not apply 'bespeaks caution' doctrine to statements of historical fact. 		Securities Jun. 20, 2005
Broudo v. Dura Pharmaceuticals Inc.
Securities fraud complaint satisfied 'loss causation' element of Section 10(b) violation of Securities and Exchange Act. 		Securities May 3, 2005
Dura Pharmaceuticals Inc. v. Broudo
Evidence of artificially inflated stock purchase price is insufficient to show loss causation. 		Securities Apr. 27, 2005
Nursing Home Pension Fund, Local 144 v. Oracle Corp.
Particularized allegations by buyers of software company's stock are sufficient to create strong inference that company acted with scienter. 		Securities Oct. 8, 2004
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